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Volume 4 Issue 1 Article 2

January 2011

Progressive Trends in Variation Form: Robert Schumann’s Piano Progressive Trends in Variation Form: Robert Schumann’s Piano

Sonata in F Minor, Op. 14, Sonata in F Minor, Op. 14, Quasi Variazioni

Hiu-Wah Au trace@utk.edu

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Recommended Citation Recommended Citation Au, Hiu-Wah (2011) "Progressive Trends in Variation Form: Robert Schumann’s Piano Sonata in F Minor, Op. 14, Quasi Variazioni," Gamut: Online Journal of the Music Theory Society of the Mid-Atlantic: Vol. 4 : Iss. 1 , Article 2.

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PROGRESSIVE TRENDS IN VARIATION FORM: ROBERT SCHUMANN’S

PIANO SONATA IN F MINOR, OP. 14, QUASI VARIAZIONI

HIU-WAH AU

ntitled Quasi Variazioni, the third movement of Schumann’s Piano Sonata in F Minor,

op. 14 (1835–36), challenges our usual expectations of variation form. In a typical

eighteenth- and nineteenth-century variation set, the theme is usually a self-contained unit in

binary form, whose form and voice leading are preserved throughout.1 But in this Schumann

movement, the theme presents an unusual, tripartite ABC form. Along with its peculiar form, the

variations also diverge markedly from the theme’s voice leading. None of the four variations

duplicates the form and voice leading of the theme, and no two variations have the same form

and voice leading. These differences are engendered by Schumann’s special handling of the

theme: he treats its motivic, melodic, and harmonic structures as discrete components that are

developed independently in individual variations. In this essay, I will trace the ways in which

1 This is a bit of an overgeneralization. In the eighteenth-century ornamental variation, composers applied surface embellishments to the theme, keeping its melodic outline, foreground harmonic progression, and form intact throughout the set. In the nineteenth century, composers adopted freer variation techniques, resulting in a looser harmonic and voice-leading relationship between theme and variation. Individual variations may no longer share the theme’s foreground voice leading, as is always the case in the ornamental style. Instead, it may be the theme’s deeper middleground scheme to which a variation conforms. In Heinrich Schenker’s view, voice-leading parallelisms between a theme and its variations are the source of organic unity in variation form; see the discussion of variation form in Schenker, Free Composition (Der freie Satz), trans. and ed. Ernst Oster (New York: Longman, 1979), §323. Most of Schenker’s analyses of variation sets consist of sketches of the theme alone, which seems to imply that variation form comprises a chain of variations, each of which duplicates the voice leading of the theme. For his studies of complete variation sets, see “A Counter-Example: Max Reger’s Variations and Fugue on a Theme by Bach, Op. 81, for Piano,” trans. John Rothgeb, in The Masterwork in Music: A Yearbook, Vol. 2 (1926), ed. William Drabkin (New York: Cambridge Univ. Press, 1996): 106–117; and “Brahms’s Variations and Fugue on a Theme by Handel, Op. 24,” trans. William Renwick, in Der Tonwille, Vol. 2 (Issues 6–10), ed. William Drabkin (New York: Oxford Univ. Press, 2005): 77–114.

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these discrete components are changed throughout the movement, and show how these changes

affect the form and voice leading of the variations. This investigation will also illustrate how

these changes create connections between the variations—connections that not only forge a sense

of development from one variation to another, but also articulate the large-scale organization of

the entire set.2

THEME

The theme (see the complete score in the Appendix) is divided into three eight-measure

sections, each of which is further subdivided into two identical phrases. Phrases a (mm. 1–4,

repeated in 5–8) and b (mm. 9–12, repeated in 13–16) are harmonically static. Phrase a prolongs

tonic with a melodic fifth descent from C to F, over a tonic pedal.3 In phrase b, the melody

appears in the lower voices. The only phrase that contains a harmonic progression is phrase c

(mm. 17–20, repeated in 21–24), which delineates a descending-fifth progression that leads to a

half cadence. Figure 1 illustrates that the Kopfton C is prolonged throughout the theme. The

melody of phrase b strongly implies a middleground Df–C neighboring motion, which is an

important surface and middleground element in the variations.

Figure 2 presents the form of the theme and individual variations (it also describes the

method of phrase labeling used herein). The table lists the melodic and harmonic features of the

theme and how they are transformed in each variation. Each variation has two sections. The

2 Despite the marked formal and contrapuntal differences between the theme and its variations, this movement has features of variation form. First, all variations are in the same key as the theme. Second, Variations 1 and 2 feature rhythmic diminution. And third, Schumann’s extensive use of motivic development conforms to the nineteenth-century character variation practice. 3 The descending pentachord, C–Bf–Af–G–F, is a musical cryptogram of Clara Schumann. For Schumann’s use of musical cryptograms, see John Daverio, “Piano Works I: A World of Images,” in The Cambridge Companion to Schumann, ed. Beate Perry (New York: Cambridge Univ. Press, 2007), 79–81.

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second section of Variation 1 is a modified repetition of the first section; it is four measures

shorter due to omission of the repetition of phrase a1’. Variation 2 features an extensive rounded

binary form. The return of phrase a2 at the end of the second section provides harmonic and

melodic closure not only for Variation 2, but also for the theme and Variation 1. Variations 3 and

4 are both in rounded binary form. But although these variations share a generic ”A’”BA’’

form, they differ in their harmonic schemes: in Variation 4, tonic harmony accompanies phrase

a4i’ in the second section; and in Variation 3, phrase a3i+ii recapitulates only the melody of phrase

a3i (with transposition), without the expected tonic return.

FIGURE 1. Schumann, op. 14, III: Middleground of theme

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FIGURE 2. Schumann, op. 14, III: Form diagram

NB: Each box of the table represents four measures in length, unless otherwise indicated. The labeling of phrases corresponds to the variations to which they belong; the number in subscript indicates the specific variation. Subscripted Roman numerals i and ii further distinguish between melodies that use the same motive. Single dotted lines represent boundaries between identical phrases. Regular double lines represent the boundaries between sub-sections. The bold double lines demarcate larger sections.

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VARIATION 1

Variation 1 begins like a typical ornamental variation (see again the Appendix’s score).

While maintaining the same note values of the melody as phrase a of the theme, Schumann

embellishes the bass with neighbors and chordal leaps in sixteenth notes. Despite its melodic

similarities, Variation 1 differs from the theme in several ways. First, at the end of phrase a1

(mm. 27–28), a Df–C upper-neighbor figure—one that is implied in phrase b of the theme—is

added to the end of the melody, replacing the theme’s tonic ending of phrase a with a half

cadence. Second, instead of appearing sequentially, the melody from phrase b, and the

descending-fifth progression from phrase c, are combined in Variation 1. The melody of phrase

(b+c)1 in mm. 33–36 inherits only the descending third, Df–C–Bf, from phrase b; the rest of the

melody is new. The progression Af7–D7–G7–C7 (a modified version of the Af7–Df7–G7–C7

progression from phrase c of the theme) harmonizes the new melody in mm. 34–36; a Df6–Ef7

progression is added to this descending-fifth progression as a prefix in m. 33. Third, the expected

repetition of phrase (b+c)1 is interrupted by the insertion of another statement of phrase a1,

which is followed by a slightly reharmonized version of phrase (b+c)1; both phrases are in a

chordal texture and return to the bass register of the theme.

Figure 3 presents the middleground of Variation 1. The Df6 and Ef7 chords, newly added

in m. 33, play an important role in modifying the harmony and voice leading. The Df6 triad not

only provides harmonic support for the upper-neighbor Df—a middleground embellishment

suggested by phrase b of the theme—but it also connects phrases a1 and (b+c)1 via a large-scale

5–6 motion. The Ef7 chord prolongs the upper-neighbor Df; anticipates the chordal seventh, G,

of the following Af7 chord; and extends the descending-fifth progression Af7–D7–G7–C7. In the

last eight measures, the music returns to the chordal texture and bass register of the theme,

combining the theme and Variation 1 into a larger unit.

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VARIATION 2

Variation 2 follows the rhythmic, harmonic, and melodic schemes of the theme more

strictly than did Variation 1. The first phrase, labeled a2 (mm. 45–52), has the same rhythm as

phrase a of the theme, with the addition of a triplet accompaniment. The large-scale C–Df–C

neighboring motion in the theme appears in Variation 2 as surface figuration in the inner voice

FIGURE 3. Schumann, op. 14, III: Middleground of variation 1

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(mm. 46 and 50). Schumann employs stepwise motion—a gesture that is derived from the linear

descending fifth in phrase a—to enrich the melodic content in the accompaniment. The melody

of the next phrase, b2 (mm. 53–56, repeated in mm. 57–60), begins with the same fourth descent

as in phrase b of the theme. Harmonizing this melody is an expansion of the Df6–Ef7 progression

from phrase (b+c)1 of Variation 1 (see Figures 4a–b); the original descending second in the bass

is inverted into an ascending seventh that is chromatically embellished. Figure 5 illustrates that

in addition to the harmonic parallelism, the Df–C–Bf surface melodic figuration that counter-

points the F–Ef in the bass in Variation 1 (m. 33) is also expanded to outline the upper-voice

motion in phrase b2 of Variation 2. The upper-neighbor Df is embellished in the foreground by a

fifth descent to G over a chromatic bass line. Phrase b2 concludes with a tonicization of Af

major.

Perhaps the most significant feature of Variation 2 is the return of phrase a2 in mm. 69–

78. The phrase that originally prolongs the opening tonic harmony of the theme now provides the

first harmonic and melodic closure in the movement, binding the theme, Variation 1, and Varia-

tion 2 into a complete formal unit. Figure 6 shows the middleground of these three sections

combined. Upper-neighbor motion embellishes the Kopfton in these sections; the descent of the

Urlinie takes place at the end of Variation 2, in phrase a2’.

In addition to the transformation of the voice-leading plan and expansion of Variation 2

with the repetition of a2’, Schumann modifies the formal design of the variation by joining

phrases b2, c2 and a2’ with a repeat sign, transforming the 8+8+8 tripartite division of the theme

into an asymmetrical, extended rounded binary form: 8+”8+8+10’. The repetition extends the

length of Variation 2 to sixty measures—which is longer than the theme and Variation 1

combined (which totals forty-four measures)—further supporting the structural importance of

Variation 2.

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FIGURE 4. Transformation of F–Ef bass progression

(a) variation 1, phrase (b+c)1

(b) variation 2, phrase b2

(c) variation 3, phrase a3i

(d) variation 3, phrase a3ii

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VARIATION 3

Figure 4c reproduces the opening of Variation 3, which is the least similar to the theme of

the four variations. The most noticeable difference in this variation is the change of character

caused by the persistent use of syncopation and large leaps in the melody. But despite these

surface rhythmic and melodic differences, Variation 3 inherits several melodic, harmonic, and

voice leading features from the theme and the previous variations. First, the descending chro-

FIGURE 5. Schumann, op. 14, III: Middleground of variation 2, b2

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matic figuration in the melody of phrase a3i is reminiscent of the fifth descent of phrase a of the

theme. Second, the bass line of mm. 79–83 unfolds a descending-fifth progression, F–Bf–Ef,

which is a transposed and shortened version of the Af–Df–G–C progression of phrase c of the

theme. Third, the bass lines of both Figures 4b and 4c delineate a stepwise ascent of a seventh

from F to Ef, a bass progression that makes its first appearance as a descending second in m. 33

of Variation 1 (Figure 4a). Figure 2 shows that phrase a3i makes use of elements from the theme

and Variations 1 and 2: from the theme, it takes the descending motive from phrase a and the

descending-fifth harmonic progression from phrase c; from Variation 1, the F–Ef bass from the

Df6–Ef7 progression; and from Variation 2, the IV tonicization from phrase a2 and the chromatic

bass ascent from phrase b2.

Figure 7 displays the middleground of phrase a3i. Unlike the opening phrases of the

theme and Variations 1 and 2, in which a descending-fifth linear progression elaborates the

Kopfton, an octave descent prolongs the Kopfton over the large-scale progression I–V in

FIGURE 6. Schumann, op. 14, III: Middleground of theme, variation 1, and variation 2

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Variation 3. The descending-fifth harmonic progression, F–Bf–Ef, harmonizes the upper-voice

descent from C to G and brings the music from the tonic of F minor to the mediant triad of C

minor in m. 83. Phrase a3i also differs from the theme and the previous variations in that it

features tonicizations of both IV and V. A tonicization of the dominant is brought about by a III–

IV–V–I progression harmonizing a local %-line descent in the key of C minor.

FIGURE 7. Schumann, op. 14, III: Middleground of variation 3, a3i

FIGURE 8. Schumann, op. 14, III: Middleground of variation 3, a3ii

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As in Variations 1 and 2, a Df6 triad appears at the beginning of the second section at m.

87. But the Df triad takes on a more significant role in Variation 3 in that it dominates phrase a3ii

(see also Figure 4d). The bass line of phrase a3ii imitates the F–Bf–Ef sequential progression of

phrase a3i: mm. 87–88 present a two-measure model, harmonized by IV6–V6–I in the key of Af

major; the next two measures (mm. 89–90) transpose this model down a fifth, bringing the music

back to the tonic of Df major. Figure 8 provides the graph of phrase a3ii. As in Variations 1 and

2, the first-inversion Df-major triad at the beginning of m. 87 introduces the middleground

upper-neighbor Df. The upper voice then traverses a descending octave in mm. 87–90, over the

prolongation of a Df6 triad. The middleground upper neighbor is further prolonged through two

upper-neighbor motions before continuing to C over the dominant of Df major.

Phrase a3i+ii (mm. 95–102) presents the melody of phrase a3i in transposition, but it draws

upon the harmony of phrase a3ii. This phrase contains the highest concentration of chromatic

activity in the variation, as Schumann replaces the first-inversion triads at the beginning of the

two-measure segments with root-position triads, and the diatonic harmonies in phrase a3ii (in the

keys of Af and Df, respectively) with diminished-seventh chords. Figure 9 illustrates the

middleground of the phrase. Prolongation of the upper-neighbor Df occupies half of the phrase.

The upper voice first moves from Df down a third to Bf in mm. 95–97, then back up chromati-

cally to recapture Df in m. 98. Harmonizing the Df at the end of the sequence is an E°43 chord,

which replaces the Df6 triad at the end of the sequence in phrase a3ii (compare mm. 90 with 98).

As in phrase a3ii, an F7 chord is found four measures before the end (see m. 99 in Figure 8 and m.

91 in Figure 8). Whereas the F43 in m. 91 harmonizes the upper-neighbor Ef (see Figure 8), the F6

5

chord in m. 99 supports the Kopfton C (see Figure 9). The chord of resolution, Bf minor in m.

100, functions as the background IV in the key of F minor.

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VARIATION 4

In Variation 4, the linear fifth descent from phrase a of the theme—elaborated by yet

another Df–C neighbor figuration—returns as a surface motive. But despite these motivic

connections with the theme, Variation 4 is in fact more closely related to Variation 3 with respect

to its voice-leading plan. A comparison of the first phrases of Variations 3 and 4 reveals that both

FIGURE 9. Schumann, op. 14, III: Middleground of variation 3, a3i+ii

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tonicize first the IV chord—with emphasis on Ef–Df in the melody (compare mm. 80–81 with

105–106)—then the dominant; and tonicization of the dominant is accompanied in both cases by

a prominent G-to-C stepwise melodic descent on the surface (see mm. 84–85 and 109–110). In

addition to these surface similarities, phrases a3i and a4i also exhibit marked parallels on the

middleground. The graph of phrase a4i, given in Figure 10, indicates that the Kopfton is

prolonged in a similar manner as in phrase a3i (see Figure 7): in both phrases there is an octave

descent, a I–IV progression in F minor that accompanies the initial C–Bf descent in the upper

voice, and a G-to-C melodic descent on the surface that serves as a local %-line, confirming the

key of the dominant.

In Variation 4, Schumann abandons the large-scale 5–6 motion that connects the first and

second phrases in the previous variations. Instead, the descending-fifth bass progression that

defines phrase c of the theme (Af–Df–G–C) returns prematurely to begin phrase a4ii. Note that

the G7 chord of this progression is missing; only the bass note G appears in m. 113 as part of an

arpeggiation of a C7 chord. The expected Df-major triad appears in m. 114 as a deceptive resolu-

tion of the C7 chord. A series of stepwise sequential motions follows thereafter, bringing the bass

FIGURE 10. Schumann, op. 14, III: Middleground of variation 4, a4i

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line first from Df down to Bn in m. 117, then back up to Df in the next measure. At the end of the

sequential motions in m. 118, the presence of a Df64-to-Df7 motion strongly suggests a tonici-

zation of Gf major. But the appearance of a G(n)43 chord in m. 119 denies this implication.

Instead, the music proceeds to tonicize the dominant of F minor, bringing the phrase to an end

with the same cadential figuration as in phrase a4i.

The graph in Figure 11 indicates that this highly chromatic passage is governed by the

signature descending-fifth progression from phrase c of the theme: Af–Df–G–C. The surface

FIGURE 11. Schumann, op. 14, III: Middleground of variation 4, a4ii

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descending fifths in the bass, in mm. 111–113, prolong Af in the bass, with a counterpointed Ef–

Df–C descent in the soprano. In mm. 114–118, another descending third, F–Ef–Df, embellishes

the middleground upper neighbor over a prolongation of Df in the bass. A modulation to C major

is facilitated by the upper-voice’s descent from Df to G, with the latter functioning as % of C

major. Phrase a4ii concludes with the same local %-line as phrase a4i.

Phrase a4i’ returns in m. 122. It bears a strong resemblance to phrase a4i except in m. 127,

where an A°42 replaces the Bo7 from m. 108. The A°4

2’s resolution to the IV6 chord leads to caden-

tial closure in m. 129. A graph of this phrase is provided in Figure 12.

∑

The foregoing analysis has shown how, in the third movement of Schumann’s op. 14, the

motivic, harmonic, and voice-leading components of the theme are varied over the course of the

movement. Each of these components plays a different role in modifying the form and voice

leading of the theme. The surface descent, C–Bf–Af–G–F, contributes to the surface motivic

makeup of all four variations. Its role in prolonging the opening Kopfton is transformed into a

background Urlinie descent in Variation 2. The descending-fifths progression, Af–Df–G–C,

FIGURE 12. Schumann, op. 14, III: Middleground of variation 4, a4i’

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performs a similar formal, harmonic, and voice-leading role in the theme, Variation 1, and

Variation 2. This progression performs its most significant middleground role in the final varia-

tion, where its prolonged version dominates phrase a4ii.

Among the different components and their transformations, the progressive transforma-

tion of the upper-neighbor motion from phrase b is crucial to promoting a sense of development

throughout the movement. In Variation 1, the Df6–Ef7 progression in m. 33 provides harmonic

support for the upper-neighbor Df. This progression is then composed-out in Variation 2 to an

entire four-measure phrase. In Variation 3, Schumann continues to highlight the upper-neighbor

Df by prolonging a Df6 triad. The middleground upper-neighbor Df makes its final appearance in

the second section of Variation 4. But this time, it is embedded in the underlying Af–Df–G–C

progression.

As the third movement of a four-movement composition, this short Quasi Variazioni

draws much of its melodic material from other movements. The most obvious melodic connec-

tion with the other movements is the use of the “Clara” theme—the stepwise descending fifth

from C to F. Certain harmonic and voice-leading events in the variations evoke similar events in

the first movement. For example, the first movement’s strong charge to the subdominant

harmony, with registral and dynamic emphasis, finds its parallel in Variation 4 (Figures 13a–b).

Anthony Newcomb has observed that the same passage in the first movement is also related to

the beginning of Variation 3, in its use of a descending chromatic line and an immediate transpo-

sition of a two-measure segment (Figures 13c).4 The 5–6 motion that connects phrase a1 with

phrase (b+c)1 in Variation 1 is also foreshadowed in the opening movement (Figure 14). Finally,

4 See Anthony Newcomb, “Schumann and the Marketplace: From Butterflies to Hausmusik,” in Nineteenth-Century Piano Music, ed. R. Larry Todd (New York: Schirmer, 1990): 258–315.

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FIGURE 13. Schumann, op. 14

(a) I, mm. 1–4

(b) III, variation 4, mm. 103–106

(c) III, variation 3, mm. 79–82

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the qqh figuration that concludes the first movement not only reappears, it is expanded into a

coda at the end of the Quasi Variazioni.

In addition to these surface similarities, significant harmonic and voice-leading events in

the variation movement also have precedents in the first movement. For example, the F–Ef bass

progression in Variation 1 recalls the respective use of F and Ef major in the first and second

themes in the first movement. The order of keys in which the second theme of the first move-

ment appears—first in Ef major, then twice in Af major (mm. 76 and 158), and finally in Df

major (m. 196)—closely resembles the unfolding of the descending-fifth bass progressions in

phrase c of the theme and phrase (b+c)1 of Variation 1.

Less than a decade after the publication of op. 14, Schumann wrote another Quasi Vari-

azioni as the second movement of his String Quartet in F Major, op. 41/2 (1843). The approach

he took in this quartet is totally different.5 Nonetheless, it is notable that the only two Quasi

Variazoni that Schumann ever wrote are each part of a larger composition. He may have felt

5 What makes op. 41 “quasi” is the use of multiple themes and the combination of da capo and variation forms. The movement has seven sections: A–B1–B2–B3–C1–C2–A. The first sixteen-measure A does not function as the theme. Instead, it returns at the very end to close the movement. B2 and B3 are variations of B1, having an identical form and similar harmonic and melodic outlines. C1 presents a new theme using a lower-neighbor motive derived from A and a harmonic outline derived from B1. The variations in this Quasi Variazioni movement are in fact rather strict, conforming quite loyally to the harmony, melody, and voice leading of their respective themes.

FIGURE 14. Schumann, op. 14, I: mm. 8–9

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freer to experiment with new formal and developmental possibilities in an inner movement of a

multi-movement work, as opposed to a self-standing variation set. In the case of the Quasi Vari-

azioni of op. 14, although the drawing of materials from the first movement does not relate to the

ways in which the theme is treated in the variations, the inter-movement connections suggest a

large-scale formal role for the Quasi Variazioni movement, a role that does not exist in inde-

pendent variation sets.

As the title “Quasi Variazioni” indicates, Schumann was well aware that he was not

writing a variation set in the conventional sense. As a known innovator of form and style,

Schumann demonstrates a new approach to variation form in this short movement. I hope this

study has offered insights into both the uniqueness of this variation movement, and Schumann’s

innovative approach to thematic design and variation techniques.

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APPENDIX SCHUMANN, PIANO SONATA IN F MINOR, OP. 14: III

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WORKS CITED Daverio, John. “Piano Works I: A World of Images.” In The Cambridge Companion to

Schumann, edited by Beate Perry, 65–85. New York: Cambridge University Press, 2007. Newcomb, Anthony. “Schumann and the Marketplace: From Butterflies to Hausmusik.” In

Nineteenth-Century Piano Music, edited by R. Larry Todd, 258–315. New York: Schirmer, 1990.

Schenker, Heinrich. “Brahms’s Variations and Fugue on a Theme by Handel, Op. 24,” translated

by William Renwick. In Der Tonwille, Vol. 2 (Issues 6–10), edited by William Drabkin, 77–114. New York: Oxford University Press, 2005.

———. “A Counter-Example: Max Reger’s Variations and Fugue on a Theme by Bach, Op. 81,

for Piano,” translated by John Rothgeb. In The Masterwork in Music: A Yearbook, Vol. 2 (1926), edited by William Drabkin, 106–117. New York: Cambridge University Press, 1996.

———. Free Composition (Der freie Satz). Translated and edited by Ernst Oster. New York:

Longman, 1979.

∑ OTHER WORKS CONSULTED Cummings, Craig. “Large-Scale Coherence in Selected Nineteenth-Century Piano Variations.”

Ph.D. dissertation, Indiana University, 1991. Forte, Allen and Steven E. Gilbert, Introduction to Schenkerian Analysis. New York: W. W.

Norton, 1982. Nelson, Robert U. The Technique of Variation: A Study of the Instrumental Variation from

Antonio de Cabezón to Max Reger. Berkeley: University of California Press, 1948. Roesner, Linda Correll. “The Autograph of Schumann’s Piano Sonata in F Minor, Opus 14.”

Musical Quarterly 61/1 (1975): 98–130. Schwarz, Werner. Robert Schumann und die Variation, mit besonderer Berücksichtigung der

Klavierwerke. Kassel: Bärenreiter, 1932.

∑

AU: PROGRESSIVE TRENDS IN VARIATION FORM

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ABSTRACT Entitled Quasi Variazioni, the third movement of Schumann’s Piano Sonata in F Minor, op. 14 (1835–36), displays features that are not usually associated with variation form. In a typical eighteenth- and nineteenth-century variation set, the theme is usually a self-contained unit, whose form and voice leading are often preserved throughout the set. But in this Schumann movement, the theme presents an unusual, tripartite ABC form, its half-cadence ending evoking the tradition of continuous variation. Along with the theme’s peculiar formal plan, the variations also diverge markedly from the theme’s form and middleground structure. These differences are engendered by Schumann’s special handling of the theme. Instead of regarding the theme as an entity to be varied as a whole, Schumann treats its motivic, voice-leading, and harmonic ele-ments as discrete components to be developed independently of one another. By reworking and combining these elements, Schumann progressively transforms the form and middleground of the theme. Significantly, these changes create motivic, harmonic, and voice-leading connections among the variations. These connections not only create a sense of development from one varia-tion to another, but also articulate the large-scale organization of the entire set.

∑ ABOUT THE AUTHOR Hiu-Wah Au received her Ph.D. in Music Theory from the Eastman School of Music. Her research interests include Schenkerian theory, variation form, performance and analysis, and humor in music. She has presented papers at Music Theory Southeast, the Music Theory Society of New York State, and the Music Theory Society of the Mid-Atlantic. She is Associate Profes-sor of Music at Appalachian State University. This article uploaded to the Gamut site on 18 April 2012.